Share on Twitter Print Share by Email Share Back to top On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two...more
1/9/2025
/ Compliance ,
Disclosure Requirements ,
Enforcement Actions ,
Form D Filing ,
Investment Adviser ,
Investment Funds ,
Private Equity ,
Private Investment Funds ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On January 26, 2022, the Securities and Exchange Commission (“SEC”) voted 3-1 to propose amendments to Form PF. The Form PF, which was initially adopted in 2011 and became effective on June 15, 2012, is a confidential report...more
Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers. Many of these fund managers are well-established with a...more
11/21/2017
/ Asset Management ,
CFOs ,
Department of Labor (DOL) ,
Due Diligence ,
Employee Retirement Income Security Act (ERISA) ,
Fund Managers ,
Individual Retirement Account (IRA) ,
Institutional Investors ,
Investment Adviser ,
Investors ,
Pension Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Retirement Plan